EFTA01297264

rdc - Deutsche Bank Private Bank Alert Batch Date: 6/16/2017 Alert Date: 6/16/2017 Added to Monitoring: 06/1612017 Person Name: Richard Kahn Address: UNITED STATES Tracking ID: Date of Birth: Reporting ID: Alerted Entity tt 1 of 2 Risk Priority: Critical Alen ID: Entity Information Entity ID: Riskid: Entity Name: Richard Kahn Address: New York, UNITED STATES Recent Event(s): • REG - Regulatory Action / ACT - Disciplinary. Regulatory Action. 04/20/2012 Decision Number: 12-ARCA-3 — Respondents including Richard Kahn violated NYSE Arca Equities Rule 10.2(d) by failing to provide testimony as requested by FINRA. on behalf of NYSE Arca. Respondents are permanently barred from NYSE Arca membership unless testimony is scheduled and provided within 120 calendar days from the issuance of this Decision in accordance with the terms of this decision.. 0420/2012 New York Stock Exchange Disciplinary Actions Event: • REG - Regulatory Action / ACT - Disciplinary. Regulatory Action, 04/20/2012 Decision Number: 12-ARCA-3 Respondents including Richard Kahn violated NYSE Arca Equities Rule 10.2(d) by failing to provide testimony as requested by FINRA. on behalf of NYSE Arca. Respondents are permanently barred from NYSE Arca membership unless testimony is scheduled and provided within 120 calendar days from the issuance of this Decision in accordance with the terms of this decision., 04/20/2012. New York Stock. Exchange. Disciplinary Actions Alert Notes Notes: Richard Kahn. of New York. appears on NY Stock Exchange Disciplinary Actions. Source Information RDC URL: https://grid rdc.corniwss/entity.html?entityld=66818b2ebc904e4b5d3f3d53eb346cc4 Source Name: RiskConnect. 06/15/2017 Entity URL: • http/Avww.nyse.corniregulation/nysearca/1219704561473.html • http://www.nyse.com/pdfs/12-ARCA-3.pdf Sources: New York Stock Exchange Disciplinary Actions. New York Stock Exchange Disciplinary Actions, http://www.nyse.cornfregulationMyse/1022221394131.html Cr:ouster., MT the team and cam:bonsor yon ROC Subset:bet Apreemet the .rfcc motion contaneO in this document is lc, alert purposes only and is na lobe used to, purposes of Oetarrsntro an ond•drausrs thIgibilly fix any mat or any other FCRA parmasabbs purposes User hotter agrees to had WO matenal and intamanon -n vraest conndence na to make ar.thartnt one, man 'a at.mordel ;organ to relate t only to VICI0y005requirang such informatay and rOt to rekrase or dachose R to any other pity Tr* Alen snlormanon contanna n :54 dotomont rray a may na paten:0mo incinKtuai a entity reletented in your equity SDNY_GM_00060166 rin e I Cl 2 CONFIDENTIAL - PURSUANT TO FED. R.QQN(E IDENTIAL DB-SONY-0022990 EFTA_001 70709 EFTA01297264 rdc - Deutsche Bank Private Bank Batch Date: 6/16/2017 Added to Monitoring: 06/16/2017 Alert Date: Alert 6/16/2017 Person Name: Richard Kahn Address: Cittijfitiy UNITED STATES Tracking ID: Date of Birth: Reporting ID: Alerted Entity #: 2 of 2 Risk Priority: Critical Alert ID Entity Information Entity ID: Riskid: Entity Name: RICHARD JEFFREY KAHN Address: Florida, UNITED STATES Recent Event(s): • REG - Regulatory Action / FIM - Fine - More than $10,000, 06/21/2011 This entity appears on the Florida Office of Financial Regulation list of Final pay an administrative fine of $20,000 with the submission of this Stipulation 06/21/2011. US Florida Office of Financial Regulation Final Orders Event: • REG - Regulatory Action / FIM - Fine - More than $10,000, 06/21/2011 This entity appears on the Florida Office of Financial Regulation list of Final pay an administrative fine of $20.000 with the submission of this Stipulation 06/21/2011. US Florida Office of Financial Regulation Final Orders Alert Notes Orders. Richard J. Kahn shall and Consent Agreement Orders. Richard J. Kahn shall and Consent Agreement Notes: Richard Jeffrey Kahn, of Florida, appears on Florida Office of Financial Regulation list of Final Orders. Source Information RDC httpsligrid.rdc.conVwssrentity html?entityld=6e6eb2a5d59448e75d3f3d53eb346cc4 Source Name: RiskConnect, 06/15/2017 Entity URL: https://realkofrcom/DocumentsNiew.aspx?docGuid=5F712B04-5DC0-466E-A0C2- 17F88270705D8docFileName=0154-sr-5-11.pdf Sources: US Florida Office of Financial Regulation Final Orders, US Florida Office of Financial Regulation Final Orders, https://realkofi.com/ConsumerServices/SearchLegalDocuments/LDSearch.aspx#/searchlegalDocuments Ccasetent voth the teems and connect-not yap ROC Subsatei Apreemert the etfccrrobon contaned in this document is lee atat purposes only ar4 is not lobe used to: purposes of determining an indadvars angOilly ex any met or any Me, FCRA pernittobte purmaes User tunner agrees to hold such maims, and intamatidn Streteitit COnhdenCe na tO make use thereat Wise then fa Siatiage0 ;urea to relate t only to employees requiting cud, informaten and rot to rekose or disci:seri to any other pally Tr* AIM intonnation contaned n this decimal( may or may not palate lo die indmaed a entity refereread in you, inquiry SDNY_GM_00060167 Page 2 N 2 CONFIDENTIAL - PURSUANT TO FED. R.ctQN(E IDENTIAL DB-SDNY-0022981 EFTA_001707 10 EFTA01297265